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Wealth Risk Senior Associate

4 months ago

Charlotte, North Carolina, United States TIAA Full time

The Risk and Compliance Senior Associate works to optimize the operation of the company's operational risk program. Under limited supervision, this job helps inform the Wealth, TIAA Trust, and Complementary Businesses management teams and Board of Directors of relevant risk initiatives to best inform their decision making. This job also seeks to identify areas of vulnerability within the organization and helps develop corrective action plans to remediate concerns.



Key Responsibilities and Duties

  • Independently manage assigned testing engagements including performing walkthroughs, developing test scripts, execution, issue vetting, and drafting final reports.
  • Evaluates the adequacy and effectiveness of the first-line risk controls and other risk management activities.
  • Partners with business partners to understand the environment and related initiatives to develop appropriate and complementary testing processes.
  • Engagement and second line oversight of key risk programs including issues management, incident losses, business continuity, end user computing tool governance, and fraud risk management.
  • Credibly challenge the front line of business on the issue design, rating, and management action and proposed controls to ensure mitigation of risk identified.
  • Participate in discussions to understand gaps, priorities for process improvement, and ensure the first line maintains appropriate documentation for the efficiencies and/or enhancements.
  • Establish strong relationships with business partners, legal, compliance, and other key stakeholders.
  • Engagement in third party risk management oversight and escalate areas of heightened risk.
  • Review and evaluate potential sales practice risk.
  • Assist in regulatory exam support including drafting responses and coordinating materials, as needed.

Educational Requirements

  • University (Degree) Preferred

Work Experience

  • 3+ Years Required; 5+ Years Preferred

Physical Requirements

  • Physical Requirements: Sedentary Work


Career Level
7IC

Qualifications:

Required:

  • 3 years, risk, compliance, audit, RIA specific or BD specific experience

​

Preferred:

  • 5 years, risk, compliance, audit, RIA specific or BD specific experience
Related SkillsAdaptability, Collaboration, Communication, Compliance, Conflict Management, Detail-Oriented, General Risk Management, Problem Solving, Relationship Management, Risk Mitigation, Risk Reporting

Anticipated Posting End Date:

Base Pay Range: $75,800/yr. - $115,000/yr.

Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).

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Company Overview

TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. We offer a wide range of financial solutions, including investing, banking, advice and education, and retirement services.

Benefits and Total Rewards

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That's why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary.

Equal Opportunity

We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.

Read more about the Equal Opportunity Law here.

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If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:

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